N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
6 days ago

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    New Court
    St Swithin's Lane
    London
    EC4N 8AL
    UNITED KINGDOM
    Phone
    +4402072805000
    Web
    https://www.rothschildandco.com

  • Complaints Contact

    New Court
    St Swithin's Lane
    London
    EC4N 8AL
    UNITED KINGDOM
    Phone
    +4402072805000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    Show 2 limitations
    • · Advice to retail clients is limited to corporate finance business only
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Pei Wen Yen

    IRN PWY01002

    • (1098)CF30 Customer (12 Oct 2013 to 11 Mar 2014)
  • Penelope Le Messurier Adomakoh

    IRN PXS01309

    • (540)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (541)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Peng Zhang

    IRN PXZ01080

    • (24)CF30 Customer (21 Apr 2017 to 20 Nov 2017)
  • Peter Alan Smith

    IRN PAS01186

    • (556)SMF11 Chair of the Audit Committee (7 Mar 2016 to 19 Sep 2016)
    • (557)SMF9 Chair of the Governing Body (7 Mar 2016 to 19 Sep 2016)
    • (558)CF2 Non Executive Director (1 Dec 2001 to 6 Mar 2016)
  • Peter Andrew Johns

    IRN PAJ01051

    • (674)CF30 Customer (1 Nov 2007 to 31 Mar 2008)
    • (675)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (676)CF1 Director (1 Dec 2001 to 31 Mar 2008)
  • Peter Atkinson

    IRN PJA01100

    • (2252)CF30 Customer (1 Nov 2007 to 16 Jul 2010)
    • (2253)CF21 Investment Adviser (15 Mar 2006 to 31 Oct 2007)
  • Peter Brown

    IRN PXB01628

    • (513)CF21 Investment Adviser (10 Oct 2003 to 3 Nov 2003)
  • Peter Charles William Everest

    IRN PCE01017

    • (130)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2172)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2173)CF23 Corporate Finance Adviser (31 Oct 2006 to 31 Oct 2007)
  • Peter David Dalton

    IRN PDD01057

    • (1949)CF30 Customer (29 May 2009 to 2 Sep 2009)
  • Peter Gibbs Birch

    IRN PGB01043

    • (708)CF2 Non Executive Director (1 Dec 2001 to 31 Jul 2008)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function added: (440)Director of firm who is not a certification employee or a SMF manager

  2. controlled function added: (439)[FCA CF] Client dealing

  3. controlled function added: (438)[FCA CF] Client dealing

  4. controlled function added: (437)[FCA CF] Client dealing

  5. controlled function added: (436)[FCA CF] Client dealing

  6. controlled function added: (435)[FCA CF] Client dealing

  7. controlled function added: (434)[FCA CF] Client dealing

  8. controlled function added: (433)[FCA CF] Client dealing

  9. controlled function added: (432)[FCA CF] Client dealing

  10. controlled function added: (431)[FCA CF] Client dealing

Show more